-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WWwSK2TKEo3vEyV5rZaR/gUKkOnWkKWqSEE+uVlu3ZLaAWZBuf1iSmOeeQovyaLM lB/XZZPjjPnEzLAz0PJn+Q== 0001034603-99-000004.txt : 19990120 0001034603-99-000004.hdr.sgml : 19990120 ACCESSION NUMBER: 0001034603-99-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990119 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PRE PAID LEGAL SERVICES INC CENTRAL INDEX KEY: 0000311657 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE CARRIERS, NEC [6399] IRS NUMBER: 731016728 STATE OF INCORPORATION: OK FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-31480 FILM NUMBER: 99508165 BUSINESS ADDRESS: STREET 1: 321 E MAIN ST CITY: ADA STATE: OK ZIP: 74820 BUSINESS PHONE: 5804361234 MAIL ADDRESS: STREET 1: 321 E MAIN CITY: ADA STATE: OK ZIP: 74820 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMITH THOMAS W CENTRAL INDEX KEY: 0000926688 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 271229241 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 323 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036611200 MAIL ADDRESS: STREET 1: 323 RAILROAD AVENUE CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: THOMAS W SMITH DATE OF NAME CHANGE: 19940713 SC 13G 1 FORM SC 13-G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* PRE-PAID LEGAL SERVICES, INC. (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 740065 10 7 (CUSIP Number) See Preliminary Note (Date of Event which Requires filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ x ] Rule 13d-1(c) [ ] Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 740065 10 7 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Thomas W. Smith - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ x ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZEN OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 516,300 NUMBER OF ---------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 2,017,000 ---------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING 516,300 ---------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 2,017,000 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,533,300 - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- CUSIP No. 740065 10 7 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Thomas N. Tryforos - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ x ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZEN OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 29,102 NUMBER OF ---------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 2,017,000 ---------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING 29,102 ---------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 2,017,000 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,046,102 - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES Not Applicable - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- Preliminary Note: This Statement on Schedule 13G is the initial filing on Schedule 13G by the filing persons pursuant to Rule 13d-1(c). The filing persons previously filed a Statement on Schedule 13D. This Schedule 13G filing updates certain information included in the prior Schedule 13D filing. The filing of this Statement shall not be deemed to be an admission that the filing persons comprise a "group" within the meaning of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended. ITEM 1. (a) Name of Issuer: Pre-Paid Legal Services, Inc. (b) Address of Issuer's Principal Executive Offices: 321 East Main Street Ada, OK 74820 ITEM 2. (a) Name of Person Filing: (i) Thomas W. Smith (ii) Thomas N. Tryforos (b) Address of Principal Business Office: The following is the address of the principal business office of each of the filing persons: 323 Railroad Avenue Greenwich, CT 06830 (c) Citizenship: Each of Messrs. Thomas W. Smith and Thomas N. Tryforos is a United States citizen. (d) Title of Class of Securities: Common Stock, par value $.01 per share (e) CUSIP Number: 740065 10 7 ITEM 3. If this Statement is filed pursuant to Rules 13d-1(c) or 13d-2(b) or (c), check whether the person filing is a: Not applicable. If this Statement is filed pursuant to Rule 13d-1(c), check this box [x] ITEM 4. Ownership (a) Thomas W. Smith -- 2,533,300 shares; Thomas N. Tryforos -- 2,046,102 shares (b) Thomas W. Smith -- 10.8%; Thomas N. Tryforos --8.7% (c) Each of Thomas W. Smith and Thomas N. Tryforos has shared power to vote or to direct the vote and shared power to dispose or to direct the disposition of 2,017,000 shares, and Thomas W. Smith has sole power to vote and dispose of 516,300 shares and Thomas N. Tryforos has sole power to vote and dispose of 29,102 shares. ITEM 5. Ownership of Five Percent or Less of a Class Not applicable. ITEM 6. Ownership of More than Five Percent on Behalf of Another Person Messrs. Smith and Tryforos beneficially own 2,135,002 shares in their capacities as investment managers for certain managed accounts. The managed accounts have the right to receive dividends from, and the proceeds from the sale of, the managed accounts' shares. ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not applicable. ITEM 8. Identification and Classification of Members of the Group Not applicable. ITEM 9. Notice of Dissolution of Group Not applicable. ITEM 10. Certification By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: January 19, 1999 /s/ Thomas W. Smith ------------------------ Thomas W. Smith /s/ Thomas N. Tryforos ------------------------ Thomas N. Tryforos JOINT FILING AGREEMENT The undersigned agree that the foregoing Statement on Schedule 13G, dated January 19, 1999, is being filed with the Securities and Exchange Commission on behalf of each of the undersigned pursuant to Rule 13d-1(k) Dated: January 19, 1999 /s/ Thomas W. Smith ------------------------ Thomas W. Smith /s/ Thomas N. Tryforos ------------------------ Thomas N. Tryforos -----END PRIVACY-ENHANCED MESSAGE-----